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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

RICHARD DAVID MERCADO

Advisor at WELLS FARGO ADVISORS

GAITHERSBURG, MD | MIAMI BEACH, FL | ROCHESTER, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Jun 21, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 16, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Sep 16, 1993
First registration: Jun 21, 2001
Dual registered: yes, broker-dealer
Other names: RICHARD DAVID MERCADO|RICHARD MERCADO
IAPD individual key: 2302301

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Mar 14, 2024	n/a	yes	ROCHESTER, NY\|MIAMI BEACH, FL\|GAITHERSBURG, MD	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	Mar 19, 2024	no	GAITHERSBURG, MD\|LUTHERVILLE, MD	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	May 20, 2021	Jun 29, 2023	no	GAITHERSBURG, MD\|LUTHERVILLE, MD	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Jan 5, 2018	May 20, 2021	no	BOCA RATON, FL\|LAYTONSVILLE, MD\|LUTHERVILLE, MD	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Aug 27, 2012	Dec 20, 2017	no	LAYTONSVILLE, MD\|LUTHERVILLE, MD	Previous registration
SOUTHLAND EQUITY PARTNERS, LLC.	Independent wealth	Nov 19, 2010	Sep 7, 2012	no	LAYTONSVILLE, MD	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Sep 11, 2009	Aug 29, 2012	no	DES MOINES, IA\|LUTHERVILLE, MD\|LAYTONSVILLE, MD\|OWINGS MILLS, MD	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Sep 3, 2009	no	SAINT PETERSBURG, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jan 22, 2003	Jan 2, 2009	no	ROCKVILLE, MD\|ROCKVILLE, MD	Previous registration
MORGAN STANLEY DW INC.	n/a	Jun 21, 2001	Dec 3, 2002	no	CHEVY CHASE, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	WELLS FARGO ADVISORS	Mar 19, 2024	Mar 14, 2024	-5	Firm change	Ibd to wirehouse
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT ADVISERS LLC	Jun 29, 2023	Jun 29, 2023	0	Bulk transfer	Ibd to ibd
SUMMIT FINANCIAL GROUP INC	CETERA ADVISOR NETWORKS LLC	May 20, 2021	May 20, 2021	0	Channel change	Ibd to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	SUMMIT FINANCIAL GROUP INC	Dec 20, 2017	Jan 5, 2018	16	Firm change	Other
SOUTHLAND EQUITY PARTNERS, LLC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Sep 7, 2012	Aug 27, 2012	-11	Firm change	Other
FSC SECURITIES CORPORATION	SOUTHLAND EQUITY PARTNERS, LLC.	Aug 29, 2012	Nov 19, 2010	-649	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	FSC SECURITIES CORPORATION	Sep 3, 2009	Sep 11, 2009	8	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	Dec 3, 2002	Jan 22, 2003	50	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105644:11025:MD:2024-03-15	Mar 19, 2024	Mar 14, 2024	LUTHERVILLE, MD	Firm change
109485:13572:MD:2021-05-20	May 20, 2021	May 20, 2021	LUTHERVILLE, MD	Firm change

Relationships

Registered with (10)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Mar 14, 2024 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Mar 19, 2024factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
May 20, 2021 to Jun 29, 2023factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Jan 5, 2018 to May 20, 2021factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 27, 2012 to Dec 20, 2017factForm ADV
→ SOUTHLAND EQUITY PARTNERS, LLC.Registered adviserregistration: previous registration
Nov 19, 2010 to Sep 7, 2012factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Sep 11, 2009 to Aug 29, 2012factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Sep 3, 2009factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 22, 2003 to Jan 2, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jun 21, 2001 to Dec 3, 2002factForm ADV

Dated events

Occurred
Mar 19, 2024
Advisor changed firm
Richard David Mercado left Cetera Investment Advisers Llc for Wells Fargo Advisors (registered 2024-03-14)
Form ADVobserved 4 days ago